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JR

John E. Regan

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CRD#: 5143728
JR

Professional summary

John Emmett Regan was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

John is a previously registered financial professional and started their career in finance in 2007. Prior to being barred, John had worked at 5 firms, which includes FBN SECURITIES INC., GUGGENHEIM SECURITIES LLC, TICONDEROGA SECURITIES LLC, CANACCORD GENUITY SECURITIES LLC, G-2 TRADINGLLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 4, 2014 - October 6, 2016

FBN SECURITIES, INC.

BD
CRD#: 18315
NY, NY
Past

June 28, 2010 - May 29, 2014

GUGGENHEIM SECURITIES, LLC

BD
CRD#: 40638
NEW YORK, NY
Past

May 18, 2009 - June 25, 2010

TICONDEROGA SECURITIES LLC

BD
CRD#: 7671
NEW YORK, NY
Past

September 14, 2007 - May 18, 2009

CANACCORD GENUITY SECURITIES LLC

BD
CRD#: 24790
NEW YORK, NY
Past

June 12, 2007 - July 27, 2007

G-2 TRADING,LLC

BD
CRD#: 44018
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/24/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/6/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/11/2007
General Securities Representative Examination

Current Firm

FS
FBN SECURITIES, INC.
FBN SECURITIES, INC. | FLOOR BROKER NETWORK, INC.

CRD#: 18315 / SEC#: , 8-30461

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
112 West 34th Street 17th Floor, New York, NY 10120
Mailing Address
112 West 34th Street 18th Floor, New York, NY 10120
Phone number
(212) 571-2722
Established
New York since 03/23/1983
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (36 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
NASO, GREGORY VINCENTMANAGING DIRECTOR, FINOP4399720
NASO, MICHAEL ANTHONYGENERAL SECURITIES PRINCIPAL HEAD OF TRADING & SALES, SECRETARY4412307
NASO, ANTHONY JOHNMANAGING DIRECTOR6131968
NASO, DENNIS MICHAELSHAREHOLDER1547034
FAGLIO, THOMAS VINCENTCHIEF COMPLIANCE OFFICER1106139

Disclosures

Regulatory Event3

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

FBN SECURITIES, INC.

CRD#: 18315

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